Sovereign Financial Services

RIAState Registered

Total AUM

$38M

Discretionary

$38M

100% of AUM

Avg account

$584K

Accounts

Employees

Advisory reps

Firm details

Headquarters: Rocky Hill, Connecticut
CRD number: 127151
Website: dagostinoandmazzone.com
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: Individuals65.05%
HNWI34.95%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

Sovereign Financial Services is an independent LLC advisory firm focused on individual and family clients. The firm acts as a capital allocator and provides a mix of financial planning and portfolio management services across individuals, small businesses, and other business or institutional clients. Its advisory capabilities include selecting and overseeing third‑party managers. Beyond investment advice, the firm also operates as an insurance broker and offers accounting-related services. Fee arrangements include percentage-of-AUM billing as well as hourly and fixed-fee options. The firm is owned by an individual and is state-registered in Connecticut.